ORS Quarterly Grant Managers Meeting

1. ORS Quarterly Grant Managers Meeting November 12, 2012

2. Agenda • ORS Updates: • ORS Staffing Update • Document Management Project • Subrecipient Monitoring and FCOI (PHS) • Office of Sponsored Programs: Nate Martinez-Wayman • New Report for Past Due Close outs • Liasions

3. ORS Staffing Update • Newest Hires (Fully Staffed 12/10/12) • Brian Lowinger, Assistant Director for Contracts and Compliance • Xaiolin “Charlene” Wang, Awards and Compliance Specialist • Adam Kuehn, Assistant Director, Grants, Contracts and Compliance • _________________, Awards and Compliance Specialist

4. Document Management Project • Four processes will be taken to RACI with recommendations for automation. • CAS/Rebudgeting • WBSE set-up • Notice of Grant Award • Award Closeout

5. Document Management Project • Increase Transparency • Streamline the Processes • Permanent Document

6. Document Management ProjectTeam Structure RACI Steering Committee Dept. Advisory Group Working Group Working Group: met once a week but now moving to every other week. Reports to Steering Committee. Departmental Advisory Group: Reviews and advises the Working Group. Steering Committee: Reports to RACI. Resolves issues around process and policy.

7. Document Management Project • Working Group Members

8. Document Management Project • Departmental Advisory Group • Karen Lynch – MGM • Marsha Newby – Pediatrics • Rebecca Dupree – Engineering • Trish McMillan – Chemistry • Darlene McCain – Global Health • David Hill – DCRI • Debbi Nixon – ADG

9. Document Management Project • Steering Committee • Jim Luther • Todd Or • Paula Morrison • John Michnowicz • Chris Tobias • Keith Hurka-Owen

10. Document Management Project

11. Document Management Project CAS/Rebudgeting: Key Features Transparency (You can see who has the form) Flexible Routing (Designate ad hoc reviewers) Permanent Document (Can be revised if returned) SAP Populates Automatically Notifications sent to all involved.

12. Subrecipient Monitoring https://ors.duke.edu/orsmanual/subawards

13. Subrecipient Monitoring https://ors.duke.edu/orsmanual/subawards • Required Materials for a SubawardProposal: For each subrecipient included in a proposal, Duke must have a proposal from the subrecipient which has been through an institutional review process and authorized by the appropriate person at the recipient institution. This proposal must include the following documents: • a statement of work • a corresponding budget and budget justification • a cover letter signed by an authorized official of the participating institution(s) agreeing to accept the subaward, and • if required by the sponsor, the recipient institution(s) may need to provide certifications and representations, other support documentation, biosketches, signed cover pages, etc.

14. Subrecipient Monitoring https://ors.duke.edu/orsmanual/subawards • Required Materials for a SubawardProposal: • PHS* Only: The subrecipient must attest to its compliance with PHS* FCOI regulations and agree to abide by its own compliance policies or follow Duke's policies.

15. Subrecipient Monitoring https://ors.duke.edu/gcc-forms SUBRECIPIENT FCOI DISCLOSURE FORM A.doc At the time of proposal submission. SUBRECIPIENT FCOI DISCLOSURE FORM B.doc At the time of JIT or award. Consultants: Use current forms. New form coming soon.

16. Subrecipient Monitoring Proposal: at the time of submission we need to get Form A signed by an Authorized Representative of the subcontracting institution. Just-in-Time (NIH only): use JIT as a trigger to request Form B. Time of Award: very short timeline. Thirty days to get Form B.

17. Subrecipient Monitoring • PHS Agencies: • NIH – National Institute of Health • CDC – Centers for Disease Control • HRSA – Health Resources & Services Administration • FDA – Food & Drug Administration • SAMHSA – Substance Abuse & Mental Health Services • IHS – Indian Health Services • ATSDR – Agency for Toxic Substances & Disease Registry • AHRQ - Agency for Health Care Research and Quality • Office of the Secretary • Organizations following PHS regulation: • American Heart Association • American Cancer Society • American Lung Association • American Lung Association of Michigan • Arthritis Foundation • Susan G. Komen Foundation • Alliance for Lupus Research

18. Financial Conflicts of Interest(PHS Policy Change) • Definitions: • Investigator: any person who is responsible for the design, conduct, or reporting of research funded by PHS or proposed for funding. • Financial Conflict of Interest: An SFI that could directly and significantly affect the design, conduct, or reporting of NIH-funded research. • Significant Financial Interest: is said to exist when • The value of any remuneration exceeds $5,000.00. • The value of any equity holdings of Investigator, spouse or children exceeds $5,000.00. • Investigators receive income related to rights in their intellectual property.

19. SPS Update • Personnel Notebook • Duke Roster • Investigator Indicator • Non-Duke Roster • Investigator Indicator

20. SPS Update

21. SPS Update

22. Office of Sponsored Programs • New Report for Past Due Close outs • Francene Richardson • Liasions • Nate Martinez-Wayman

23. FCOI: Internal Process • ORS is reviewing all PHS awards for compliance. • Review includes subcontractors and consultants who are identified as “investigator.” • SPS Utilities: ORS can add new subcontractors and consultants without returning the SPS entry for changes. • SPS “feeds” the FCOI Reporting tool with all named Duke employees and non-Duke subcontractors and consultants.

24. New Report: Sponsored Research Tracker of Past Due Closeouts • Accessed in SAP via Transaction Code ZF600 • Uses data from the Closeout Notification System ZG53 (CONS), ZF109 report, as well as other Master Data Fields. • Provides closeout information to streamline and reduce late reporting to sponsors. • Developed to assist monitoring the Financial Status of research projects. • https://finance.duke.edu/resources/training/handouts/ZF600.pdf